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Strategies & Market Trends : Anthony@Pacific & TRUTHSEEKER Expose Crims & Scammers!!!
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From: ravenseye2/15/2006 10:03:02 AM
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TradeStation Group,Inc. (Nasdaq: TRAD)
... * a notice from the NASD alleging violations of NASD Conduct Rule 3370 ("Prompt Receipt and Delivery of Securities"), which alleges that in March and April 2004 (when the firm's accounts and trades were carried by and cleared through Bear Stearns and customer short sales were authorized and arranged by Bear Stearns on behalf of the firm's accounts using Bear Stearns's short sale inventory and short sale policies) 172 customer short sale orders were accepted without annotating an affirmative determination that the firm would receive delivery of the security on behalf of the customer or that the firm could borrow the security on behalf of the customer for delivery by the settlement date, which could result in a fine, sanction and/or other negative consequences;...
prnewswire.com
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